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|
Order # |
Date Issued | Respondents | Action | Case Number |
| CD-2007-0001 |
02/01/2007 05/15/2007 |
Trinity Oil & Gas
Drilling, Inc. Spirit Resources, Inc. Trinity Energy Group, Inc. Trinity Oil Partners No 2, LLC Trinity Energy Group International, Inc Trinity Resources, Inc. Roy Dent John Holland Dale Normand All Respondents |
Cease & Desist Final Order due to no Response |
S07-0025 |
| CD-2007-0002 |
01/29/2007 02/04/2008 |
Lysle John Fleming Jr. All Respondents |
Cease & Desist Final Order due to no Response |
S06-0526 |
| CD-2007-0003 |
01/30/2007 03/29/2007 |
Like Minded Inc. A&S Investment Club Gary Lamar Robertson Tyeshia Laquita Robertson All Respondents |
Cease & Desist Final Order due to no Response |
S06-0212 |
|
CD-2007-0004 |
01/30/2007 03/19/2008 |
Brookstone Capital, Inc. Brookstone Biotech Ventures, L.P. Brookstone Biotech Ventures, L.P. II Robert Louis Carver James Lowell DeMers Edward Daniel Allan Scott Michael Moonly Edward Daniel Allan |
Cease & Desist Order to Vacate |
S06-0038 |
| CD-2007-0005 |
02/07/2007 08/06/2007 |
Aspen Exploration Inc. Mark A. Rand All Respondents |
Cease & Desist Final Order - No Response |
S04-0303 |
| CD-2007-0006 |
02/23/2007 11/06/2008 |
Ascension Financial
Solutions Kenneth Mueller Robert Beam John R Bernier Richard E. Stewart All Respondents |
Cease & Desist Final Order due to no Response |
S06-0065 |
| CD-2007-0009 |
04/05/2007 08/23/2007 |
Plexpay Network Frode Jorgensen All Respondents |
Cease & Desist Final Order due to no Response |
S06-0322 |
|
CD-2007-0011
|
04/19/2007 05/15/2007 05/15/2007 05/29/2007 06/11/2007
|
American Heritage Church
Finance Inc. Bryant Forrest Thompson Richard Charles Hicks Garry Keith Beasinger Thomas Marshall Collins Jr. Thomas Stewart Davidson John Michael Greer Sr. James Adrian Remley John Michael Greer Sr. Garry Keith Beasinger Thomas Stewart Davidson American Heritage Church
Finance Inc. Thomas Marshall
Collins Jr. |
Cease & Desist Consent Order Consent Order Consent Order Consent Order Final Order due to no Response |
S05-0334 |
| SC-2007-0013 |
05/15/2007 12/25/2007 |
Thomas Lane Butts Thomas Lane Butts |
Show Cause
Consent Order |
S05-0422 |
|
CD-2007-0014 |
05/21/2007 06/12/2009 06/16/2009 |
National Foundation of
America Richard K. Olive Kenny Marks Hunter Brown Daniel Jr. Suzanne Nance Daniel National Foundation of
America National Foundation of
America |
Cease & Desist Final Order due to no
Response Order to Vacate |
S07-0151 |
| CD-2007-0015 |
05/29/2007 06/09/2009 |
Allied Energy Group Allied Syndications, Inc. Richard Paul Underwood Steve Stengell Aaron Grogan All Respondents |
Cease & Desist Final Order due to no Response |
S07-0248 |
| CD-2007-0016 |
06/06/2007 09/11/2007 |
Charles Williams All Respondents |
Cease & Desist Final Order due to no Response |
S07-0008 |
|
CD-2007-0019 |
07/15/2007 12/29/2008 01/27/2010 05/05/2011 |
Malory Investments LLC Ronald Stein Stephen Strauss Kenneth Eugene Zelmer, Jr. Sean Zarinegar (aka) Bejahn Zarinegar Capital Guardian Inc. Blake William Wilson (aka) Arnold Kramer, Arnold Cramer, Irv Kranberg Christine Fenn (aka) Christine Ann Gilbert Malory Investments LLC Stephen Strauss
Blake William Wilson |
Cease & Desist Consent Order Final Order Due to no Response |
S05-0468 S05-0468 |
| CD-2007-0020 | 07/10/2007 | James R Hunt Creative Research & Testing Co. |
Cease & Desist | S07-0203 |
|
CD-2007-0021 SC-2007-0021 |
07/10/2007 | Gary Allen Mitchell The Financial Centre LLC |
Cease & Desist | S07-0203 |
| CD-2007-0022 | 07/10/2007 | Gene Grobstein GG Consulting International LLC |
Cease & Desist | S07-0203 |
| CD-2007-0023 |
07/31/2007 08/26/2007 |
Beaty Ford (dba) Barbour Funding Joseph Earl Beaty Beaty Ford |
Cease & Desist Final Order due to no Response |
S07-0327 |
|
CD-2007-0024 |
08/24/2007 09/26/2008 |
Newman Energy Corporation Joseph W Newman Joseph D Nolfe
Newman Energy Corporation |
Cease & Desist Consent Order |
S07-0221 |
|
CD-2007-0025 |
10/12/2007 05/19/2008 |
Center for Senior Planning Life Partners Holding Inc. (dba) Life Partners Inc. Sterling Trust Company Dan Belbeck Roger Owens Jerry Poss Sterling Trust Company |
Cease & Desist Order to Vacate |
S07-0412 |
| CD-2007-0027 | 09/26/2007 | James William Griffith American Heritage Publishing and Merchandising American Veterans Marketing, Inc. (aka) American Veterans Hall of Honor |
Cease & Desist | S05-0393 |
| CD-2007-0028 | 10/26/2007 | Rodrick Glenn Wall (aka) Francious Glenn Wall III. |
Cease & Desist | S07-0344 |
| CD-2007-0029 |
11/14/2007 01/07/2008 |
Petrologistiks LLC Rudolph A. Polson All Respondents |
Cease & Desist Final Order - No Response |
S07-0276 |
| CD-2007-0030 | 11/14/2007 | Asif Usman Kiani | Cease & Desist | S07-0301 |
|
CD-2007-0032 |
12/03/2007 01/02/2008 |
Chapin Davis, Inc. Harold H. Hoffman Jr. PATAPSCO Securities,
Inc. |
Cease & Desist Consent Order |
S07-0463 |
|
CD-2007-0033 |
12/03/2007 01/08/2008 |
Bill Few Securities, Inc. John H. Schneider Bill Few Securities, Inc. |
Cease & Desist Consent Order |
S07-0466 |
| OD-2007-0034 | 12/05/2007 | GO Credit, Inc. | S07-0524 | |
| CD-2007-0035 |
12/11/2007 09/24/2009 |
Bull or Bear Trading Inc. Scott Anthony Harwell All Respondents |
Cease & Desist Final Order - Incarceration |
S07-0343 |
|
CD-2007-0036 |
12/17/2007 04/17/2009 |
Heartland Energy
Development John Schiffner Brandon Davis Charles Reed Cagle Heartland Energy
Development |
Cease & Desist Order to Vacate |
S07-0518 |
| CD-2007-0037 |
12/17/2007 01/23/2008 |
Two Guy's Publications
Inc. Homer F. Jennings Ronald R. Zuetlau All Respondents |
Cease & Desist Final Order - No Response |
S07-0438 |
